Marc L. Collins
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b 1-4 thereunder (17 CFR 270.30b 1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44U.S.C. § 3507.
WESTERN ASSET EMERGING MKTS DEBT FD INC. | |
Security | 95766A101 | | | | Meeting Type | Special |
Ticker Symbol | EMD | | | | Meeting Date | 06-Jul-2020 |
ISIN | US95766A1016 | | | | Agenda | 935194768 - Opposition |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. | Management | | Split | Split | |
2C. | To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC. | Management | | Split | Split | |
2D. | To approve a New Subadvisory Agreement with: Western Asset Management Company Limited. | Management | | Split | Split | |
2F. | To approve a New Subadvisory Agreement with: Western Asset Management Company Pte. Ltd. | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 82,627 | 0 | 04-Jun-2020 | 04-Jun-2020 |
WESTERN ASSET GBL HIGH INC FD INC. | |
Security | 95766B109 | | | | Meeting Type | Contested-Special |
Ticker Symbol | EHI | | | | Meeting Date | 06-Jul-2020 |
ISIN | US95766B1098 | | | | Agenda | 935196116 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. | Management | | | | |
2C. | To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC. | Management | | | | |
2D. | To approve a New Subadvisory Agreement with: Western Asset Management Company Limited. | Management | | | | |
2F. | To approve a New Subadvisory Agreement with: Western Asset Management Company Pte. Ltd. | Management | | | | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 248,461 | 0 | | |
WESTERN ASSET GBL HIGH INC FD INC. | |
Security | 95766B109 | | | | Meeting Type | Contested-Special |
Ticker Symbol | EHI | | | | Meeting Date | 06-Jul-2020 |
ISIN | US95766B1098 | | | | Agenda | 935196116 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. | Management | | | | |
2C. | To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC. | Management | | | | |
2D. | To approve a New Subadvisory Agreement with: Western Asset Management Company Limited. | Management | | | | |
2F. | To approve a New Subadvisory Agreement with: Western Asset Management Company Pte. Ltd. | Management | | | | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 248,461 | 0 | 15-May-2020 | 15-May-2020 |
WESTERN ASSET GBL HIGH INC FD INC. | |
Security | 95766B109 | | | | Meeting Type | Contested-Special |
Ticker Symbol | EHI | | | | Meeting Date | 06-Jul-2020 |
ISIN | US95766B1098 | | | | Agenda | 935196128 - Opposition |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. | Management | | | | |
2C. | To approve a New Subadvisory Agreement with Western Asset Management Company, LLC. | Management | | | | |
2D. | To approve a New Subadvisory Agreement with Western Asset Management Company Limited. | Management | | | | |
2F. | To approve a New Subadvisory Agreement with Western Asset Management Company Pte. Ltd. | Management | | | | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 248,461 | 0 | | |
WESTERN ASSET HIGH INC OPP FD INC. | |
Security | 95766K109 | | | | Meeting Type | Contested-Special |
Ticker Symbol | HIO | | | | Meeting Date | 06-Jul-2020 |
ISIN | US95766K1097 | | | | Agenda | 935196130 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. | Management | | | | |
2C. | To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC. | Management | | | | |
2D. | To approve a New Subadvisory Agreement with: Western Asset Management Company Limited. | Management | | | | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 580,478 | 0 | | |
WESTERN ASSET HIGH INC OPP FD INC. | |
Security | 95766K109 | | | | Meeting Type | Contested-Special |
Ticker Symbol | HIO | | | | Meeting Date | 06-Jul-2020 |
ISIN | US95766K1097 | | | | Agenda | 935196130 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. | Management | | | | |
2C. | To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC. | Management | | | | |
2D. | To approve a New Subadvisory Agreement with: Western Asset Management Company Limited. | Management | | | | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 580,478 | 0 | 14-May-2020 | 14-May-2020 |
WESTERN ASSET HIGH INC OPP FD INC. | |
Security | 95766K109 | | | | Meeting Type | Contested-Special |
Ticker Symbol | HIO | | | | Meeting Date | 06-Jul-2020 |
ISIN | US95766K1097 | | | | Agenda | 935196142 - Opposition |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. | Management | | | | |
2C. | To approve a New Subadvisory Agreement with Western Asset Management Company, LLC. | Management | | | | |
2D. | To approve a New Subadvisory Agreement with Western Asset Management Company Limited. | Management | | | | |
| | | | | | �� | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 580,478 | 0 | | |
BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |
Security | 10537L104 | | | | Meeting Type | Contested-Special |
Ticker Symbol | BWG | | | | Meeting Date | 06-Jul-2020 |
ISIN | US10537L1044 | | | | Agenda | 935196178 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | To approve a new management agreement with Legg Mason Partners Fund Advisor, LLC | Management | | | | |
2A. | To approve a New Subadvisory Agreement with: Brandywine Global Investment Management, LLC. | Management | | | | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 221,760 | 0 | 15-May-2020 | 15-May-2020 |
BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |
Security | 10537L104 | | | | Meeting Type | Contested-Special |
Ticker Symbol | BWG | | | | Meeting Date | 06-Jul-2020 |
ISIN | US10537L1044 | | | | Agenda | 935196178 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | To approve a new management agreement with Legg Mason Partners Fund Advisor, LLC | Management | | | | |
2A. | To approve a New Subadvisory Agreement with: Brandywine Global Investment Management, LLC. | Management | | | | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 221,760 | 0 | | |
BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |
Security | 10537L104 | | | | Meeting Type | Contested-Special |
Ticker Symbol | BWG | | | | Meeting Date | 06-Jul-2020 |
ISIN | US10537L1044 | | | | Agenda | 935196180 - Opposition |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | TO APPROVE A NEW INVESTMENT ADVISORY AGREEMENT WITH LEGG MASON PARTNERS FUND ADVISOR, LLC. | Management | | | | |
2. | TO AUTHORIZE THE PROXYHOLDERS TO DECLINE TO ATTEND THE MEETING IF THEY BELIEVE THAT PROPOSAL NO. 1 IS LESS LIKELY TO BE APPROVED IF YOUR SHARES ARE NOT REPRESENTED AT THE MEETING (BY MAKING IT MORE DIFFICULT FOR MORE THAN 50% OF THE OUTSTANDING SHARES TO BE PRESENT IN PERSON OR BY PROXY) THAN IF THEY ARE REPRESENTED AT THE MEETING. FOR= Authorize ; AGAINST = Do Not Authorize. | Management | | | | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 221,760 | 0 | | |
NEXPOINT FUNDS | |
Security | 65340G205 | | | | Meeting Type | Annual |
Ticker Symbol | NHF | | | | Meeting Date | 14-Jul-2020 |
ISIN | US65340G2057 | | | | Agenda | 935242836 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | DIRECTOR | Management | | Split | Split | |
| 1 | Dr. Bob Froehlich | | | Split | Split | |
| 2 | Edward Constantino | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 170,583 | 0 | 13-Jul-2020 | 13-Jul-2020 |
BLACKROCK FLOATING RATE INCOME TRUST | |
Security | 091941104 | | | | Meeting Type | Annual |
Ticker Symbol | BGT | | | | Meeting Date | 27-Jul-2020 |
ISIN | US0919411043 | | | | Agenda | 935237823 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | DIRECTOR | Management | | Split | Split | |
| 1 | Michael J. Castellano | | | Split | Split | |
| 2 | R. Glenn Hubbard | | | Split | Split | |
| 3 | John M. Perlowski | | | Split | Split | |
| 4 | W. Carl Kester | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 71,108 | 0 | 24-Jul-2020 | 24-Jul-2020 |
NUVEEN MUNICIPAL CREDIT INCOME FUND | |
Security | 67070X101 | | | | Meeting Type | Annual |
Ticker Symbol | NZF | | | | Meeting Date | 05-Aug-2020 |
ISIN | US67070X1019 | | | | Agenda | 935245541 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1C. | DIRECTOR | Management | | Split | Split | |
| 1 | John K. Nelson | | | Split | Split | |
| 2 | Terence J. Toth | | | Split | Split | |
| 3 | Robert L. Young | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 80,916 | 0 | 04-Aug-2020 | 04-Aug-2020 |
INVESCO DYNAMIC CREDIT OPP FUND | |
Security | 46132R104 | | | | Meeting Type | Annual |
Ticker Symbol | VTA | | | | Meeting Date | 07-Aug-2020 |
ISIN | US46132R1041 | | | | Agenda | 935248319 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1A | DIRECTOR | Management | | Split | Split | |
| 1 | Beth Ann Brown | | | Split | Split | |
| 2 | Anthony J. LaCava, Jr. | | | Split | Split | |
| 3 | Joel W. Motley | | | Split | Split | |
| 4 | Teresa M. Ressel | | | Split | Split | |
| 5 | Christopher L. Wilson | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 307,596 | 0 | 06-Aug-2020 | 06-Aug-2020 |
INVESCO SENIOR INCOME TRUST | |
Security | 46131H107 | | | | Meeting Type | Annual |
Ticker Symbol | VVR | | | | Meeting Date | 07-Aug-2020 |
ISIN | US46131H1077 | | | | Agenda | 935248319 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1A | DIRECTOR | Management | | Split | Split | |
| 1 | Beth Ann Brown | | | Split | Split | |
| 2 | Anthony J. LaCava, Jr. | | | Split | Split | |
| 3 | Joel W. Motley | | | Split | Split | |
| 4 | Teresa M. Ressel | | | Split | Split | |
| 5 | Christopher L. Wilson | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 307,015 | 0 | 06-Aug-2020 | 06-Aug-2020 |
VAN KAMPEN FUNDS | |
Security | 46131M106 | | | | Meeting Type | Annual |
Ticker Symbol | VGM | | | | Meeting Date | 07-Aug-2020 |
ISIN | US46131M1062 | | | | Agenda | 935248319 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1A | DIRECTOR | Management | | Split | Split | |
| 1 | Beth Ann Brown | | | Split | Split | |
| 2 | Anthony J. LaCava, Jr. | | | Split | Split | |
| 3 | Joel W. Motley | | | Split | Split | |
| 4 | Teresa M. Ressel | | | Split | Split | |
| 5 | Christopher L. Wilson | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 4,999 | 0 | 06-Aug-2020 | 06-Aug-2020 |
INVESCO | |
Security | 46131F101 | | | | Meeting Type | Annual |
Ticker Symbol | VLT | | | | Meeting Date | 07-Aug-2020 |
ISIN | US46131F1012 | | | | Agenda | 935248333 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1C | DIRECTOR | Management | | Split | Split | |
| 1 | David C. Arch | | | Split | Split | |
| 2 | Beth Ann Brown | | | Split | Split | |
| 3 | Anthony J. LaCava, Jr. | | | Split | Split | |
| 4 | Joel W. Motley | | | Split | Split | |
| 5 | Teresa M. Ressel | | | Split | Split | |
| 6 | Christopher L. Wilson | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 93,167 | 0 | 06-Aug-2020 | 06-Aug-2020 |
NEXPOINT FUNDS | |
Security | 65340G205 | | | | Meeting Type | Special |
Ticker Symbol | NHF | | | | Meeting Date | 28-Aug-2020 |
ISIN | US65340G2057 | | | | Agenda | 935250388 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | To approve a change in the Fund's business from a registered investment company that invests primarily in debt and equity securities to a diversified REIT and to amend the Fund's fundamental investment restrictions to permit the Fund to engage in its new business (the "Business Change Proposal"). | Management | | Split | Split | |
2. | To approve the amendment and restatement of the Fund's Agreement and Declaration of Trust (the "Amendment Proposal"). | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 170,583 | 0 | 27-Aug-2020 | 27-Aug-2020 |
WESTERN ASSET GBL HIGH INC FD INC. | |
Security | 95766B109 | | | | Meeting Type | Annual |
Ticker Symbol | EHI | | | | Meeting Date | 23-Oct-2020 |
ISIN | US95766B1098 | | | | Agenda | 935275001 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1.1 | Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Carol L. Colman | Management | | Split | Split | |
1.2 | Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Daniel P. Cronin | Management | | Split | Split | |
1.3 | Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Paolo M. Cucchi | Management | | Split | Split | |
2. | To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending May 31, 2021. | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 264,191 | 0 | 22-Oct-2020 | 22-Oct-2020 |
EATON VANCE HIGH INCOME | |
Security | 27829W101 | | | | Meeting Type | Annual |
Ticker Symbol | EHT | | | | Meeting Date | 14-Jan-2021 |
ISIN | US27829W1018 | | | | Agenda | 935310160 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1A. | DIRECTOR | Management | | Split | Split | |
| 1 | George J. Gorman | | | Split | Split | |
| 2 | Valerie A. Mosley | | | Split | Split | |
| 3 | William H. Park | | | Split | Split | |
| 4 | Marcus L. Smith | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 34,464 | 0 | 13-Jan-2021 | 13-Jan-2021 |
EATON VANCE LIMITED DURATION INCOME FD | |
Security | 27828H105 | | | | Meeting Type | Annual |
Ticker Symbol | EVV | | | | Meeting Date | 11-Feb-2021 |
ISIN | US27828H1059 | | | | Agenda | 935319473 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1A) | DIRECTOR | Management | | Split | Split | |
| 1 | Helen Frame Peters | | | Split | Split | |
| 2 | Marcus L. Smith | | | Split | Split | |
| 3 | Susan J. Sutherland | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 259,419 | 0 | 10-Feb-2021 | 10-Feb-2021 |
EATON VANCE LIMITED DURATION INCOME FD | |
Security | 27828H105 | | | | Meeting Type | Special |
Ticker Symbol | EVV | | | | Meeting Date | 23-Feb-2021 |
ISIN | US27828H1059 | | | | Agenda | 935312556 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1A. | Approval of a new investment advisory agreement with Eaton Vance Management to continue to serve as the Fund's investment adviser. | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 189,758 | 0 | 06-Jan-2021 | 06-Jan-2021 |
EATON VANCE HIGH INCOME | |
Security | 27829W101 | | | | Meeting Type | Special |
Ticker Symbol | EHT | | | | Meeting Date | 23-Feb-2021 |
ISIN | US27829W1018 | | | | Agenda | 935312582 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1B. | Approval of a new investment advisory and administrative agreement with Eaton Vance to continue to serve as the Fund's investment adviser and administrator. | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 34,464 | 0 | 06-Jan-2021 | 06-Jan-2021 |
OAKTREE SPECIALTY LENDING CORPORATION | |
Security | 67401P108 | | | | Meeting Type | Annual |
Ticker Symbol | OCSL | | | | Meeting Date | 15-Mar-2021 |
ISIN | US67401P1084 | | | | Agenda | 935330946 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1A. | Election of Director: Deborah Gero | Management | | | | |
1B. | Election of Director: Craig Jacobson | Management | | | | |
2. | To ratify the appointment of Ernst & Young LLP as the Independent Registered Public Accounting Firm for the Company for the fiscal year ending September 30, 2021. | Management | | | | |
3. | To approve the issuance of shares of common stock, par value $0.01 per share, of the Company to be issued pursuant to the Agreement and Plan of Merger, dated as of October 28, 2020, among Oaktree Strategic Income Corporation, a Delaware corporation ("OCSI"), the Company, Lion Merger Sub, Inc., a Delaware corporation and a direct wholly-owned subsidiary of the Company, and, for the limited purposes set forth therein, Oaktree Fund Advisors, LLC, a Delaware limited liability company and investment adviser to each of the Company and OCSI. | Management | | | | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 371,130 | 0 | | |
OWL ROCK CAPITAL CORPORATION | |
Security | 69121K104 | | | | Meeting Type | Special |
Ticker Symbol | ORCC | | | | Meeting Date | 17-Mar-2021 |
ISIN | US69121K1043 | | | | Agenda | 935331037 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | To approve the Company's entry into an amended and restated investment advisory agreement (the "New Advisory Agreement") between the Company and Owl Rock Capital Advisors LLC (the "Adviser"), pursuant to which the Adviser will continue to provide investment advisory and management services to the Company following the change in control of the Adviser with no changes to terms, as more fully described in the accompanying proxy statement (the "New Advisory Agreement Proposal"). | Management | | | | |
2. | To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the Special Meeting to approve the New Advisory Agreement Proposal (the "Adjournment Proposal"). | Management | | | | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 121,591 | 0 | | |
FIRST TRUST ADVISORS | |
Security | 33738E109 | | | | Meeting Type | Annual |
Ticker Symbol | FSD | | | | Meeting Date | 08-Apr-2021 |
ISIN | US33738E1091 | | | | Agenda | 935337293 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | DIRECTOR | Management | | Split | Split | |
| 1 | Richard E. Erickson | | | Split | Split | |
| 2 | Thomas R. Kadlec | | | Split | Split | |
2. | If properly presented at the Meeting, a shareholder proposal to terminate all investment advisory and management agreements pertaining to the Fund. | Shareholder | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 144,726 | 0 | 07-Apr-2021 | 07-Apr-2021 |
WESTERN ASSET HIGH INC OPP FD INC. | |
Security | 95766K109 | | | | Meeting Type | Annual |
Ticker Symbol | HIO | | | | Meeting Date | 09-Apr-2021 |
ISIN | US95766K1097 | | | | Agenda | 935342078 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1.1 | Election of Class II Director to serve until the 2024 Annual Meeting of Stockholders: Paolo M. Cucchi | Management | | Split | Split | |
1.2 | Election of Class II Director to serve until the 2024 Annual Meeting of Stockholders: Eileen A. Kamerick | Management | | Split | Split | |
1.3 | Election of Class II Director to serve until the 2024 Annual Meeting of Stockholders: Jane Trust | Management | | Split | Split | |
2. | To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending September 30, 2021. | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 320,523 | 0 | 08-Apr-2021 | 08-Apr-2021 |
BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |
Security | 10537L104 | | | | Meeting Type | Annual |
Ticker Symbol | BWG | | | | Meeting Date | 09-Apr-2021 |
ISIN | US10537L1044 | | | | Agenda | 935342131 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1.1 | Election of Class III Director to serve until the 2024 Annual Meeting of Stockholders: Robert D. Agdern | Management | | Split | Split | |
1.2 | Election of Class III Director to serve until the 2024 Annual Meeting of Stockholders: Eileen A. Kamerick | Management | | Split | Split | |
2. | To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending October 31, 2021. | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 132,443 | 0 | 08-Apr-2021 | 08-Apr-2021 |
PGIM INVESTMENTS | |
Security | 69346H100 | | | | Meeting Type | Annual |
Ticker Symbol | ISD | | | | Meeting Date | 16-Apr-2021 |
ISIN | US69346H1005 | | | | Agenda | 935329664 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | DIRECTOR | Management | | Split | Split | |
| 1 | Scott E. Benjamin | | | Split | Split | |
| 2 | Linda W. Bynoe | | | Split | Split | |
| 3 | Laurie Simon Hodrick | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 107,386 | 0 | 08-Mar-2021 | 15-Apr-2021 |
PGIM INVESTMENTS | |
Security | 69346J106 | | | | Meeting Type | Annual |
Ticker Symbol | GHY | | | | Meeting Date | 16-Apr-2021 |
ISIN | US69346J1060 | | | | Agenda | 935329676 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | DIRECTOR | Management | | Split | Split | |
| 1 | Scott E. Benjamin | | | Split | Split | |
| 2 | Linda W. Bynoe | | | Split | Split | |
| 3 | Laurie Simon Hodrick | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 190,841 | 0 | 08-Mar-2021 | 15-Apr-2021 |
BLACKSTONE FUNDS | |
Security | 09257D102 | | | | Meeting Type | Annual |
Ticker Symbol | BGX | | | | Meeting Date | 21-Apr-2021 |
ISIN | US09257D1028 | | | | Agenda | 935352637 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
2A. | Election of Nominee for Trustee: Gary S. Schpero | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 39,240 | 0 | 20-Apr-2021 | 20-Apr-2021 |
BLACKSTONE FUNDS | |
Security | 09257R101 | | | | Meeting Type | Annual |
Ticker Symbol | BGB | | | | Meeting Date | 21-Apr-2021 |
ISIN | US09257R1014 | | | | Agenda | 935352649 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
3A. | Election of Nominee for Trustee: Gary S. Schpero | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 162,562 | 0 | 20-Apr-2021 | 20-Apr-2021 |
THE NEW AMERICA HIGH INCOME FUND, INC. | |
Security | 641876800 | | | | Meeting Type | Annual |
Ticker Symbol | HYB | | | | Meeting Date | 22-Apr-2021 |
ISIN | US6418768007 | | | | Agenda | 935339944 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | DIRECTOR | Management | | Split | Split | |
| 1 | Joseph L. Bower | | | Split | Split | |
| 2 | Stuart A. McFarland | | | Split | Split | |
| 3 | Marguerite Piret | | | Split | Split | |
| 4 | Oleg M. Pohotsky | | | Split | Split | |
| 5 | Ellen E. Terry | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 90,583 | 0 | 21-Apr-2021 | 21-Apr-2021 |
ARES DYNAMIC | |
Security | 04014F102 | | | | Meeting Type | Annual |
Ticker Symbol | ARDC | | | | Meeting Date | 11-May-2021 |
ISIN | US04014F1021 | | | | Agenda | 935365709 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1A. | Election of Class I Director to serve for a term expiring in 2023 Annual Meeting: Paula B. Pretlow | Management | | Split | Split | |
1B. | Election of Class II Director to serve for a term expiring in 2024 Annual Meeting: Seth J. Brufsky | Management | | Split | Split | |
1C. | Election of Class II Director to serve for a term expiring in 2024 Annual Meeting: John J. Shaw | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 73,797 | 0 | 10-May-2021 | 10-May-2021 |
MCDERMOTT INTL LTD | |
Security | G5924V106 | | | | Meeting Type | Annual |
Ticker Symbol | MCDIF | | | | Meeting Date | 14-May-2021 |
ISIN | BMG5924V1063 | | | | Agenda | 935365975 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | To appoint David Dickson as Chairman of the 2021 Annual General Meeting of Members. | Management | | Split | Split | |
2. | DIRECTOR | Management | | Split | Split | |
| 1 | Craig Broderick | | | Split | Split | |
| 2 | Neil Bruce | | | Split | Split | |
| 3 | David Dickson | | | Split | Split | |
| 4 | Barbara Duganier | | | Split | Split | |
| 5 | Andrew Gould | | | Split | Split | |
| 6 | Alan Hirshberg | | | Split | Split | |
| 7 | Nils Larsen | | | Split | Split | |
| 8 | Lee McIntire | | | Split | Split | |
| 9 | Paul Soldatos | | | Split | Split | |
3. | To approve amendments to Bye-Laws 40.1(a), 41, 50.1 and 65 of the Amended and Restated Bye-laws of McDermott International, Ltd. | Management | | Split | Split | |
4. | To approve an alteration to the Memorandum of Association of McDermott International, Ltd. | Management | | Split | Split | |
5. | To appoint Ernst & Young LLP as the Auditor of McDermott International, Ltd for a term extending until the close of the 2022 Annual General Meeting of Members and give the Audit Committee of the Board of Directors the authority to set the remuneration of the Company's Auditor. | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV2L | RN DOUBLELINE STRAT OPP FD INC | 997RV2L | STATE STREET BANK & TRUST CO | 13,637 | 0 | 13-May-2021 | 13-May-2021 |
XAI OCTAGON FUNDS | |
Security | 98400T205 | | | | Meeting Type | Annual |
Ticker Symbol | XFLTPR | | | | Meeting Date | 18-May-2021 |
ISIN | US98400T2050 | | | | Agenda | 935411316 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1A. | Election of Class I Trustee of the Trust, to be elected by common shares and preferred shares voting as a single class, to serve until the 2024 annual meeting: Theodore J. Brombach | Management | | Split | Split | |
1B. | Election of Class I Trustee of the Trust, to be elected by preferred shares voting as a separate class, to serve until the 2024 annual meeting: Danielle Cupps | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 39,726 | 0 | 17-May-2021 | 17-May-2021 |
NUVEEN PREFERED & CONVERTIBLE INCOME 2 | |
Security | 67073D102 | | | | Meeting Type | Annual |
Ticker Symbol | JQC | | | | Meeting Date | 25-May-2021 |
ISIN | US67073D1028 | | | | Agenda | 935346139 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1B. | DIRECTOR | Management | | Split | Split | |
| 1 | Jack B. Evans | | | Split | Split | |
| 2 | Albin F. Moschner | | | Split | Split | |
| 3 | Matthew Thornton III | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 164,128 | 0 | 05-Apr-2021 | 24-May-2021 |
NUVEEN MORTGAGE OPPORTUNITY TERM FUND | |
Security | 670735109 | | | | Meeting Type | Annual |
Ticker Symbol | JLS | | | | Meeting Date | 25-May-2021 |
ISIN | US6707351093 | | | | Agenda | 935346139 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1B. | DIRECTOR | Management | | Split | Split | |
| 1 | Jack B. Evans | | | Split | Split | |
| 2 | Albin F. Moschner | | | Split | Split | |
| 3 | Matthew Thornton III | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 46,304 | 0 | 05-Apr-2021 | 24-May-2021 |
NUVEEN FLOATING RATE INCOME FUND | |
Security | 67072T108 | | | | Meeting Type | Annual |
Ticker Symbol | JFR | | | | Meeting Date | 25-May-2021 |
ISIN | US67072T1088 | | | | Agenda | 935346141 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1A. | DIRECTOR | Management | | Split | Split | |
| 1 | Jack B. Evans | | | Split | Split | |
| 2 | Matthew Thornton III | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 11,105 | 0 | 05-Apr-2021 | 24-May-2021 |
NEXPOINT FUNDS | |
Security | 65340G205 | | | | Meeting Type | Annual |
Ticker Symbol | NHF | | | | Meeting Date | 11-Jun-2021 |
ISIN | US65340G2057 | | | | Agenda | 935432459 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1A. | Election of Class III Trustee to serve for a three year term expiring at the 2024 Annual Meeting: John Honis | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 47,636 | 0 | 10-Jun-2021 | 10-Jun-2021 |
FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC | |
Security | 26943B100 | | | | Meeting Type | Annual |
Ticker Symbol | FCRD | | | | Meeting Date | 17-Jun-2021 |
ISIN | US26943B1008 | | | | Agenda | 935422749 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | DIRECTOR | Management | | Split | Split | |
| 1 | Christopher J. Flynn | | | Split | Split | |
| 2 | E.P. Giambastiani, Jr. | | | Split | Split | |
| 3 | Nancy Hawthorne | | | Split | Split | |
| 4 | James D. Kern | | | Split | Split | |
| 5 | Deborah McAneny | | | Split | Split | |
| 6 | Jane Musser Nelson | | | Split | Split | |
2. | To ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for such Company for the fiscal year ending December 31, 2021. | Management | | Split | Split | |
3. | To approve an amendment to our Third Amended and Restated Certificate of Incorporation ("Charter") to remove the ability of the continuing directors to remove any director for cause and allow stockholders to remove directors, with or without cause, by the holders of a majority of shares then entitled to vote. | Management | | Split | Split | |
4. | To approve the adjournment of the Annual Meeting, if necessary or appropriate, to solicit additional proxies. | Management | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 124,971 | 0 | 16-Jun-2021 | 16-Jun-2021 |
MORGAN STANLEY EMERGING MKTS | |
Security | 617477104 | | | | Meeting Type | Annual |
Ticker Symbol | EDD | | | | Meeting Date | 24-Jun-2021 |
ISIN | US6174771047 | | | | Agenda | 935436065 - Management |
| | | | | | | | | | |
Item | Proposal | | Proposed by | Vote | For/Against Management | |
1. | DIRECTOR | Management | | Split | Split | |
| 1 | Patricia Maleski# | | | Split | Split | |
| 2 | Nancy C. Everett* | | | Split | Split | |
| 3 | Michael F. Klein* | | | Split | Split | |
| 4 | W. Allen Reed* | | | Split | Split | |
| | | | | | | | | | |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 200,578 | 0 | 23-Jun-2021 | 23-Jun-2021 |
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.